Gerald L. Bauer

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CRD#: 732085

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerald Lee Bauer was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1981. Gerald had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 14, 2015 - December 31, 2015

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

OELWEIN, IA

Past

August 23, 1995 - May 14, 2015

HEARTLAND INVESTMENT ASSOCIATES, INC.

CRD#: 26974

HIAWATHA, IA

Past

December 7, 1990 - August 23, 1995

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 17, 1986 - December 31, 1988

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

September 10, 1984 - September 12, 1988

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

March 22, 1984 - August 14, 1984

FIRM ONE SECURITIES, INCORPORATED

CRD#: 13531

Past

September 27, 1983 - August 14, 1984

SII INVESTMENTS, INC.

CRD#: 2225

Past

April 1, 1982 - February 10, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

June 7, 1981 - March 25, 1982

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/11/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LASALLE ST SECURITIES, L.L.C.

LA SALLE ST. SECURITIES, INC. | LASALLE ST SECURITIES, L.L.C.

CRD#: 7191 / SEC#: , 8-18860

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Phone number

(630) 600-0500

Established

Delaware since 04/23/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LASALLE ST. HOLDINGS LLC F/K/A MCDERMOTT HOLDINGS I, L.P.	100% OWNER
BEAVER, REGAN ALAN	CHIEF COMPLIANCE OFFICER	4621953
DROZD, MICHAEL MITCHELL	CHIEF INVESTMENT OFFICER	6015178
SCHLESSER, DANIEL JOHN	C.F.O./TRES./C.O.O	1788458

Disclosures

Regulatory Event	15
Arbitration	4
Bond	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gerald L. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HEARTLAND INVESTMENT ASSOCIATES, INC.

WOODBURY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

FIRM ONE SECURITIES, INCORPORATED

SII INVESTMENTS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

N.I.S. FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1981

SIE

Date: 12/31/2015

Series 7

Date: 3/17/1984

Series 6

Date: 6/5/1981

Current Firm

LASALLE ST SECURITIES, L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LASALLE ST SECURITIES, L.L.C.

TRUST BUT VERIFY

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